1. Performance management guidance1 1

2. Performance management Part B: headteachers’ performance management
Implementing the revised
performance management regulations
January 2011 for the
performance management of headteachers
(to be implemented by 1 January 2013) 2

3. Objectives of the session
Understand the requirements of the revised regulations and how to implement them effectively.
Review the role of performance management for the headteacher in raising standards.
Review how the headteacher’s performance management is embedded in the broad context of the school’s improvement processes.
Review the operation of the headteacher’s performance management process, including the roles and responsibilities of those involved.
Notes
Part B provides an overview of the revised performance management regulations for the headteacher’s performance management process.
Part B should be used in conjunction with Part A.
It can be used to review and/or provide training on the headteacher’s performance management process.
Refer to the published guidance notes.
For this session, the school will need copies of the existing performance management policy and documentation for headteacher’s performance management.
The session is not intended to be a comprehensive training programme for all the skills and competencies needed by governors to become effective appraisers.
Governors may need additional development training on aspects such as:
– developing a secure understanding of analysis of school performance data
– developing an understanding of the Leadership Standards and their application to the role of the headteacher.
Self-assessment, referred to in slide 19, can be used to identify development needs for appraisers.
Audience
Part B can be used with all stakeholders in the headteacher’s performance management process, including governors, headteachers and local authority nominees.
Purpose
To facilitate:
an understanding of the revised requirements of the performance management regulations
a shared understanding of roles and responsibilities
the review of a school’s existing performance management procedures for the headteacher’s performance management
any required amendments to the performance management policy and procedures.
Organisation
Part B of the pack has been designed to be used with:
the nominated governors on the headteacher appraisal panel
a governing body or a cluster of governing bodies
local authority nominees for the headteacher’s appraisal panel.
It can be facilitated by the headteacher or an appropriate local authority officer.
School documentation
The school’s current performance management policy and documentation.
References
Welsh Government guidance
Performance management for headteachers (2012)
Performance management for teachers (2012)
Statutory Instrument
School Teacher Appraisal (Wales) Regulations 2011 3

4. Recap and overview of the revised performance management requirements4

5. Revised requirements Timescale Revisions
Revised regulations introduced January 2012.
Move to the revised arrangements by 31 December 2012.
Revisions
Performance management is explicitly linked to:
– professional standards and practice
– whole-school and national priorities
– learner performance data
– pay progression.
Practitioners maintain a practice, review and development (PRD) record.
Greater local authority involvement in the school’s performance management process.
The Chief Education Officer (CEO) must receive a copy of the appraisal statement.
Estyn has access to the headteacher’s performance objectives.
Performance management documents should be kept for a minimum of three years.
Notes
This slide summarises the key revisions to performance management regulations.
References
Welsh Government guidance
Performance management for headteachers (2012)
Performance management for teachers (2012)
Statutory Instrument
School Teacher Appraisal (Wales) Regulations 2011 5

6. Purpose of performance management
‘Performance management helps schools to improve by supporting and improving the work of head teachers as individuals and leaders of school teams. It sets a framework for teachers and leaders to agree and review priorities and objectives in the context of the school’s improvement plan. It focuses attention on making teaching and leadership more effective to benefit pupils, teachers, and schools.’
Performance management for headteachers (Welsh Government, 2012)
Notes
References
Welsh Government guidance
Performance management for headteachers (2012) (page 1)
Performance management for teachers (2012) (page 1) 6

7. Role of performance management in the school improvement process
Performance management supports:
schools to improve by supporting and improving the work of practitioners as individuals and in teams
teachers to meet the needs of learners and raise standards.
Performance management demonstrates the school’s
commitment to:
develop all practitioners effectively
ensure job satisfaction
high levels of expertise
the progression of practitioners in their chosen profession.
Notes
Performance management should be integral to the school’s improvement process.
Effective performance management is embedded in the monitoring and review processes of the school. 7

8. The appraisal cycle
The headteacher will determine the timing of the appraisal cycle for every teacher.
The governing body must determine the appraisal cycle for the headteacher.
The length of the appraisal cycle will normally be one year.
Notes
The cycle begins after 1 September and before 31 December for headteachers.
For teachers, the cycle must start no earlier than 1 January and no later than 31 December.
The appointment of a new appraiser will not cause the teacher’s appraisal cycle to begin again.
Once begun, appraisal cycles are continuous.
References
Welsh Government guidance
Performance management for headteachers (2012) (page 6)
Performance management for teachers (2012) (page 5) 8

9. The appraisal cycle
Reviewing Planning Self-reflection Appraiser Self-analysis Review meeting and Strategic analysis Appraisal statement appraisee Setting objectives Agreeing continuous professional development (CPD) Monitoring Informal in-year reviews Teaching observation Other agreed sources of evidence appropriate to the teacher’s role
Notes
References
Welsh Government guidance
Performance management for headteachers (2012) (page 7)
Performance management for teachers (2012) (page 6) 9

10. Reflection and discussion – self-evaluation
In what way does the performance management process:
support the vision of the school?
contribute to improving the attainment and welfare of learners?
assist in the professional development of all staff?
establish an atmosphere of trust between the teacher and their appraiser, which allows for rigorous evaluation of strengths and identification of areas for development?
encourage the sharing of good practice?
underpin the overall approach of leading and managing the school?
meet the revised statutory regulations?
B. How is performance management embedded in the improvement processes of the school?
C. Are there any aspects that could be improved?
(Use prompt sheet 5 to facilitate discussion.)
Notes
All partners in the process – teachers, headteachers and governors – should be aware of the role of the performance management process in the school’s improvement processes.
Organisation
Participants should discuss the points on the slide using prompt sheet 5 to facilitate the discussion.
It should be noted that ‘don’t know’ is a valid response which can be considered a need for communication and/or clarity on aspects for improvement.
A plenary session should draw together the discussion and make a note of the aspects for improvement.
Support materials
Handout for discussion – prompt sheet 5.
The school’s performance management policy.
The school’s vision/mission statement.
References
Welsh Government guidance
Performance management for headteachers (2012)
Performance management for teachers (2012)
Model performance management policy for schools template (2012) 10

11. Roles and responsibilities
Notes
This section outlines the roles and responsibilities of key partners in the performance management process including:
governing body
headteacher
appraiser(s)
appraisee
local authority
Welsh Government.
It is good practice for all involved in the process to have clarity on all the roles and responsibilities. 11

12. Roles and responsibilities in the performance management process
Key partners
Governing body/relevant body.
Headteacher.
Appraisal panel.
Local authority.
Welsh Government.

13. Governing body/relevant body responsibilities for the headteacher’s performance management
The governing body/relevant body must:
appoint an appraisal panel to:
– review the headteacher’s performance management through an appraisal panel
– agree objectives for the headteacher
– agree an annual appraisal statement
– regularly monitor the performance of the headteacher
include the local authority nominated person(s) in the headteacher’s appraisal panel and performance management process
ensure that the headteacher’s performance management process is carried out in line with the statutory requirements.
Notes
The performance management regulations apply to acting headteachers in post for a term or more.
Where a headteacher is employed at two or more schools which have separate governing bodies, the headteacher must undergo performance management for each school and governing bodies should work together to minimise burdens.
The revised regulations require one or two local authority nominees to be full members of the headteacher’s appraisal panel along with the nominated governors.
The nominated governors are appointed by the governing body.
The local authority nominees are appointed by the Chief Education Officer (CEO) of the local authority.
The local authority must consult with the headteacher and governors on the nominee(s).
References
Welsh Government guidance
Performance management for headteachers (2012) (page 2)
Model performance management policy for schools template (2012)
Appeals process
Performance management for headteachers (2012) (page 16)
Performance management for teachers (2012) (pages 15 and 16)
Statutory Instrument
School Teacher Appraisal (Wales) Regulations 2011
(Part 2 section 16 regulations 2011)
(Part 3 section 30 regulations 2011) 13

14. Role of the headteacher in their own performance management process
Discuss and agree objectives with appraisers.
Agree monitoring arrangements.
Participate in monitoring and review arrangements including:
– reviewing their own performance using the leadership standards as a backdrop
– maintaining their practice, review and development (PRD) record
– attend informal in-year performance review discussions
– suggesting objectives for the next cycle
– considering the appraisal statement.
Discuss and identify professional development needs.
Notes
Effective performance management is characterised by a collaborative approach where the appraisers and the headteacher take joint responsibility for the effective implementation of the process.
It is recommended that three objectives are normally sufficient.
The Leadership Standards should form a backdrop to the performance management process.
The headteacher should reflect on his/her practice and consider his/her own professional development needs.
The revised regulations place a duty on the headteacher to maintain a practice, review and development (PRD) record to support the above activity.
References
Welsh Government guidance
Performance management for headteachers (2012)
Revised professional standards for education practitioners in Wales (2011) 14

15. Responsibilities of the headteacher
Discuss setting of objectives with the appraisal panel within the context of the school, the job description and the appropriate professional standards.
Inform the process by identifying and providing relevant data and evidence of performance.
Participate in monitoring arrangements.
Maintain an up-to-date practice, review and development (PRD) record.
Contribute to the annual review against objectives and overall performance.
Discuss and identify professional development needs to support professional practice.
Notes
References
Welsh Government guidance
Performance management for headteachers (2012) 15

16. Reflection and discussion – self-evaluation
In what way does the appraisee (headteacher):
discuss setting of objectives with appraisers (appraisal panel) within the context of the school, the job description and the appropriate professional standards?
inform the process by identifying and providing relevant data and evidence?
participate in monitoring arrangements and maintain an up-to-date practice, review and development (PRD) record?
contribute to the annual review against objectives and overall performance?
discuss and identify professional development needs to support professional practice?
B. How is performance management embedded in the improvement processes of the school?
C. Are there any aspects that could be improved?
(Use prompt sheet 4 to facilitate discussion.)
Notes
All partners in the process – headteachers, governors and local authority nominees – should be aware of the role of the headteacher and how the headteacher carries out their responsibilities.
While the process used may vary all headteachers must carry out all points under ‘A’ annually.
Organisation
Participants should discuss the points on the slide using prompt sheet 4 to facilitate the discussion.
It should be noted that ‘don’t know’ is a valid response which can be considered as a need for communication and/or clarity on aspects for improvement.
A plenary session should draw together the discussion and make a note of the aspects for improvement.
Support materials
Handout for discussion – prompt sheet 4.
The school’s performance management policy and documentation.
References
Welsh Government guidance
Performance management for headteachers (2012) 16

17. Role of appraisal panel (governors and local authority nominee(s))
The appraisal panel must:
agree and record objectives with the headteacher
monitor and review performance throughout the cycle
discuss and identify the headteacher’s professional development needs
prepare the annual appraisal statement
provide a copy of the appraisal statement to the headteacher, the chair of the governing body and the Chief Education Officer (CEO)
provide a copy of the headteacher’s appraisal statement, on request, to governors involved in matters relating to pay, promotion, discipline or dismissal of the headteacher.
Notes
The chair of the governing body provides the headteacher’s statement of objectives to Estyn on request.
The chair of the governing body provides a copy of the annex to the appraisal statement to the person(s) responsible for planning the training and development for the school.
The appraisal panel must give the draft appraisal statement to the headteacher within ten school days.
It is good practice for the:
– appraisal panel to agree the wording of the statement with the headteacher within the ten-day period
– chair of the appraisal panel and the headteacher to sign and date the final appraisal statement
– headteacher to consider adding comments in writing to the final appraisal statement.
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 15 and 20)
Model performance management policy for schools template (2012) 17

18. Responsibilities of the appraiser(s)
Appraiser(s) carry out their responsibilities by:
planning the appraisal cycle with the appraisee:
– setting the objectives taking account of the performance review of the previous cycle
– discussing and identifying professional development needs
– keeping progress under review and monitoring performance against objectives regularly throughout the performance management cycle (formative review)
– conducting an annual review of performance with the appraisee (summative review including judgements)
taking appropriate action and facilitating support when there is underperformance
arranging for the full appraisal statement and annex to the appraisal statement to be made available to the required personnel.
Notes
The headteacher and/or local authority can facilitate the training for governors.
All appraisers should have developmental training before undertaking the role.
Part C supports training on the process. However, it is the responsibility of the appraiser to ensure that they access developmental training on the required understanding, skills and competencies.
Self-assessment will help appraisers to identify areas for further training.
All appraisers should have a secure understanding of:
– the school’s performance management policy and procedures
– the appraisee’s work including their job description
– relevant learner and school performance information
– the school’s improvement priorities and school self-evaluation outcomes
– local, regional and national improvement priorities
– the appropriate professional standards for education practitioners in Wales – Practising Teacher Standards and/or Leadership Standards
– how, where necessary, to provide suitable support throughout the annual cycle.
The professional standards provide a backdrop to discussions to help headteachers identify strengths and areas for further development. These should inform the setting of objectives.
References
Welsh Government guidance
Performance management for headteachers (2012) (page 4)
Revised professional standards for educational practitioners in Wales (2011) (see slide 13) 18

19. Self-assessment for appraisers
The Welsh Government guidance sets out the attributes for appraisers and states that all appraisers should be appropriately trained to undertake the role.
Appraisers should conduct a self-assessment to identify their development needs.
Further training can be undertaken in the areas of development identified to ensure that the role can be conducted effectively.
Notes
Self-assessment is for personal use by appraisers to enable them to identify their development needs.
Headteachers and governing bodies should facilitate the appropriate training for appraisers.
Some of the training will be generic for all governors, e.g. understanding school performance data, while others may be specific to the governors responsible for performance management, e.g. understanding the Leadership Standards.
Support materials
Appraiser’s self-assessment.
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 4 and 5)

20. Appointing the appraisal panel
At least two governors must be appointed by the governing body.
One or two nominees must be appointed by the local authority.
Additionally, where the appraisal is of a headteacher of a school which has a religious character, the diocesan authority may appoint an appraiser.
Where the time a headteacher spends teaching amounts to a significant proportion of their role, then consideration should be given to the inclusion of an appraiser with qualified teacher status (QTS).
No governor may be appointed as an appraiser of the headteacher if they are a teacher or other member of staff at the school.
Notes
The revised regulations require one or two local authority nominees to be full members of the headteacher’s appraisal panel along with the nominated governors.
The nominated governors are appointed by the governing body.
The local authority nominees are appointed by the Chief Education Officer (CEO) of the local authority.
The local authority must consult with the headteacher and governors on the nominee(s).
When appointing appraisers, governors should give careful consideration to the attributes required for the role.
When an appraiser with qualified teacher status (QTS) is included on the appraisal panel, this will normally be one of the local authority nominees. This will enable the panel to fulfil its responsibilities to conduct the required teaching observation(s).
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 4 and 5) 20

21. The local authority nominee(s)
The local authority will:
nominate one or two representatives who would normally have knowledge of the school, the role of the headteacher and of the relevant local authority and national priorities
where appropriate, give specific consideration to the inclusion of an appraiser with qualified teacher status (QTS)
consult with the headteacher on who will be appointed as their nominees to the appraisal panel.
Notes
The revised regulations place a duty on the local authority to have a more active role in the performance management arrangements for headteachers and teachers.
The local authority nominee(s) on the headteacher’s appraisal panel are full members of the panel.
References
Welsh Government guidance
Performance management for headteachers (2012) (page 5)
Statutory Instrument
School Teacher Appraisal (Wales) Regulations 2011
(Section 8(6), page 11) 21

22. Reflection and discussion – self-evaluation
In what way do the appraiser(s):
plan the appraisal cycle with the appraisee?
set the objectives taking account of the performance review of the previous cycle?
discuss and identify professional development needs?
keep progress under review and monitor performance against objectives regularly throughout the performance management cycle (formative review)?
take appropriate action and facilitate support when there is underperformance?
conduct an annual review of performance with the appraisee (summative review including judgements)?
arrange for the appraisal statement to be made available to the required personnel?
B. How is performance management embedded in the improvement processes of the school?
C. Are there any aspects that could be improved?
(Use prompt sheet 3 to facilitate discussion.)
Notes
All partners in the process – teachers, headteachers and governors – should be aware of the role of the performance management process in the school’s improvement process.
Organisation
Participants should discuss the points on the slide using prompt sheet 3 to facilitate the discussion.
It should be noted that ‘don’t know’ is a valid response which can be considered as a need for communication and/or clarity on aspects for improvement.
A plenary session should draw together the discussion and make a note of the aspects for improvement.
Support materials
Handout for discussion – prompt sheet 3.
The school's performance management policy.
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 15 and 20)
Performance management for teachers (2012) (pages 13, 17 and 18)

23. Reviewing performance

24. The annual appraisal review meeting
A formal opportunity to:
recognise achievements and celebrate successes
discuss areas for improvement and further professional development
and if desired:
agree future priorities, including objectives for the following performance management cycle.
Notes
The review meeting is a statutory meeting and should take place on an annual basis.
The date on which the appraisal review is to be held will be determined by the appraisers.
The appraisers and the headteacher must hold an annual appraisal review. It is a statutory duty of the governing body.
The annual performance review meeting is one element of the headteacher’s performance management process.
To meet statutory requirements the following must be present at the annual appraisal review:
– at least two governors
– at least one local authority nominee
– the headteacher.
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 13 and 14)
Statutory Instrument
School Teacher Appraisal (Wales) Regulations 2011
(Part 2, paragraph 15, page 14) 24

25. Planning for the annual review of performance
Allocate adequate time for the review.
The headteacher must be informed in writing of the date of the review meeting at least 10 school days in advance.
The practice, review and development (PRD) record must be submitted to appraisers at least five days in advance of the review meeting.
Notes
It is important that adequate time should be allocated to the review meeting.
Prior to the review meeting, the headteacher may wish to consider the areas for discussion in relation to the current cycle and in preparation for the next cycle.
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 13 and 14)
Statutory Instrument
School Teacher Appraisal (Wales) Regulations 2011
(Paragraph 15 (2) (3), page 14) 25

26. Managing the review process
Identify a chair for the appraisal panel.
Determine how records will be kept and the appraisal statement written.
Identify data and appropriate evidence to be used in keeping with the regulations.
Decide how the objectives from the previous cycle are taken into account.
The headteacher should undertake self-reflection prior to the meeting.
Agree monitoring and review arrangements.
Notes
A performance review will be more valuable and effective if the headteacher has reflected in advance on the work of the year, on strengths and achievements, and on areas for development (refer to PRD record).
The headteacher should also reflect on professional development needs and the Leadership Standards.
References
Welsh Government guidance
Performance management for headteachers (2012) (page 14)
Model performance management policy for schools template (2012)
Revised professional standards for education practitioners in Wales (2011)
Statutory Instrument
School Teacher Appraisal (Wales) Regulations 2011
(For objectives, refer to 12, 1a, b, c, d, e, f, page 12)
(For monitoring, refer to Paragraph 14, page 13)
(For review, refer Paragraph 15, page 14) 26

27. Headteacher self-reflection
The headteacher should consider performance
against:
their own assessment of performance against the objectives
evidence of performance in the cycle
the benefits of any professional development undertaken
any in-year reviews that have taken place
any factors that affected performance
possible objectives for the next cycle.
Note
A performance review will be more valuable and effective if the headteacher has reflected in advance on the work of the year, on strengths and achievements, and on areas for development.
The PRD record provides the focus for self-reflection.
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 13) 27

28. Documentation to be considered
Any relevant school performance data and information.
School improvement plan.
The school self-evaluation record.
Post-Estyn inspection plan.
The Leadership Standards.
Any other relevant materials, including those from local authority reviews.
Notes
The majority of the documents used will be readily available in school.
References
Welsh Government guidance
Performance management for headteachers (2012) (page 13)
Revised professional standards for education practitioners in Wales (2011) 28

29. Consideration should also be given to:
reviewing, discussing and confirming the headteacher’s essential tasks, objectives and standards
recognising strengths and achievements and taking into consideration factors outside their control
confirming action agreed during informal in-year reviews
identifying areas for development and how these will be met
recognising professional development needs
agreeing clear objectives and completing an individual plan for the year ahead.
Notes
It will be important to refer to the headteacher’s job description and to the Leadership Standards.
References
Welsh Government guidance
Performance management for headteachers (2012) (page 13)
Revised professional standards for education practitioners in Wales (2011) (page 9) 29

30. Making judgements The appraisal panel and the headteacher must:
judge the extent to which the objectives have been met
judge whether or not there has been successful overall performance
confirm that the headteacher continues to meet the relevant professional standards for headteachers
judge the need for support training and development.
Notes
This process is about making judgements and not being judgemental.
It will be important to reflect on all the evidence gathered in order to come to a final judgement.
Appropriate additional support training or development and ways of meeting such needs, taking into account the headteacher’s PRD record, should be identified.
A written appraisal statement must be provided to the headteacher.
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 13 and 14)
Model performance management policy for schools template (2012) 30

31. Setting objectives 31

32. Setting the objectives
Three objectives will normally be sufficient.
The headteacher’s objectives should:
contribute to improving the progress of learners at the school
take account of relevant evidence including school performance information
be focused on key expectations and developmental priorities on which evidence-based judgements can be made
be recorded in the statement of objectives.
Notes
Setting objectives is a key part of the performance management process.
Objectives that are challenging yet achievable, and aligned to the needs of the school and the appraisee, will contribute to raising learner achievement and attainment.
There is a clear requirement that performance management sits within the context of the school self-evaluation and school improvement processes. This will ensure an integrated cycle.
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 8 and 9)
Model performance management policy for schools template (2012) 32

33. Headteacher’s objectives
Taken as a whole, they must relate to:
school leadership and management
the headteacher’s job description
any relevant pay progression criteria
any relevant whole-school or team objectives specified in the school improvement plan
the Leadership Standards
any national priorities for school improvement set by the Minister for Education and Skills.
Notes
The professional standards should be used to provide a backdrop to discussions to help headteachers identify areas of strength and areas for further development.
Objectives should take into account the stage the headteacher is at in their career.
Regard should be taken of what can reasonably be expected of the headteacher in being able to achieve a satisfactory work-life balance.
Where the headteacher spends a significant amount of their role teaching, specific reference should be included within their objectives to their teaching responsibilities.
Where a headteacher has an objective or objectives relating to teaching, then monitoring procedures for that objective will mirror those for teachers, including teaching observation carried out by a person holding qualified teacher status (QTS).
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 9 and 10)
Revised professional standards for educational practitioners in Wales (2011)
Statutory Instrument
School Teacher Appraisal (Wales) Regulations 2011
(Paragraph 12, pages 12/13) 33

34. Objectives need to be:
clear – offering no possibility of ambiguity or confusion about the intended outcome
concise – using as few words as possible to convey the intention
measurable – expressed in such a way that criteria can be agreed which will demonstrate whether or not the objective has been achieved
challenging – sufficiently challenging, taking into account the circumstances of the school, to bring about significant improvement
developmental – supporting the improvement of the school and the appraisee.
Notes
Objectives should be agreed between appraiser and appraisee before or at the start of the cycle.
Where the headteacher spends a significant amount of their role teaching, specific reference should be included within their objectives to their teaching responsibilities.
Where a headteacher has an objective or objectives relating to teaching, then monitoring procedures for that objective will mirror those for teachers, including teaching observation carried out by a person holding qualified teacher status (QTS).
In exceptional circumstances, a headteacher’s objectives may be revised by the headteacher’s appraisal panel at any time during the appraisal cycle.
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 9 and 10)
Statutory Instrument
School Teacher Appraisal (Wales) Regulations 2011
(Paragraph 13, page 13)

35. Identifying professional development needs
Professional development should:
support the headteacher in enhancing skills and knowledge
support agreed objectives
develop strengths
address areas for personal development or professional growth.
Notes
Professional development is a key element of the performance management process and may include a range of activities, including shadowing, taking on new roles, focused learning visits, undertaking a course of professional study, etc.
Individual plans and appraisal statements are personal and confidential documents.
Throughout the course of the appraisal cycle the headteacher must keep an up-to-date record of:
– their own assessment of performance against the objectives recorded on the statement of objectives
– particulars of any professional development activities undertaken or other support provided and how this is contributing to achievement of the objectives
– particulars of any factors which the headteacher considers are affecting performance against recorded objectives.
The practice, review and development (PRD) record provides the means of keeping the above records.
References
Welsh Government guidance
Performance management for headteachers (2012) (page 10) 35

36. Monitoring performance36

37. Monitoring performance
Monitoring procedures should:
– be discussed and agreed at the planning meetings
– include a variety of methods.
Progress should be monitored throughout the year.
Sufficient appropriate evidence should be gathered to ensure secure judgements.
The headteacher must keep an up-to-date practice, review and development (PRD) record.
Notes
Throughout the course of the appraisal cycle the headteacher must keep an up-to-date record of:
– their own assessment of performance against the objectives recorded on the statement of objectives
– particulars of any professional development activities undertaken or other support provided and how this is contributing to achievement of the objectives
– particulars of any factors which the headteacher considers are affecting performance against recorded objectives.
The practice, review and development (PRD) record is the means by which the above records are kept.
The headteacher should discuss and agree:
– procedures with the appraisers for monitoring performance against objectives at the planning stage
– any supportive action needed
– the requirement to keep an up-to-date practice, review and development (PRD) record.
Monitoring procedures should include a variety of methods including information from:
– the headteacher’s practice, review and development (PRD) record
– the school improvement plan
– school performance information.
It is important that sufficient appropriate evidence is gathered to ensure secure judgements are made.
Progress should be kept under review throughout the year ensuring an active and collaborative review of progress. This could be done through in-year discussions as a means of keeping progress under review.
If procedures cannot be jointly agreed, the panel has the final decision and will set and record, in writing, the procedures to be used.
The headteacher should be allowed to add comments in writing.
References
Welsh Government guidance
Performance management for headteachers (2012) (page 11) 37

38. Monitoring progress
There may be a variety of monitoring methods used to gather sufficient appropriate evidence in order to ensure secure judgements are made. The evidence can be gathered from various sources including:
in-year meetings between the appraisal panel and the headteacher
the headteacher’s practice, review and development (PRD) record
school improvement plan
school performance data and information
the school’s ongoing self-evaluation process
teaching observation (where appropriate).
Notes
Monitoring procedures should be agreed at the planning meeting.
Monitoring procedures should include a variety of methods including information as outlined above.
It is important that sufficient, appropriate evidence is gathered to ensure secure judgements are made.
Progress should be kept under review.
Headteachers should be supported in their professional development.
Appropriate records should be kept.
References
Welsh Government guidance
Performance management for headteachers (2012) (page 11) 38

39. Teaching observations for headteachers
Observations for the purpose of performance management must only be carried out by persons holding qualified teacher status (QTS).
Observations should take place during lessons and activities that have been planned in advance.
At least five school days’ notice is required.
Minimum of one observation per year for performance management.
Feedback should be given as soon as is possible (usually within five school days).
Outcome of observation, including feedback, should be recorded – headteacher should be given the opportunity to add comments.
Notes
In some circumstances, it may be possible for another person with qualified teacher status (QTS) to undertake the observation and report to the appraiser. This should be discussed in advance with the headteacher.
The nature and purpose of observation should be determined at the planning meeting.
Successful observation requires preparation and training and a clear understanding by the headteacher and the observer of its purpose.
Full, constructive and timely feedback, that is developmental and offers the opportunity to discuss what went well and what might have been done differently, should be given as soon as possible, usually within five school days.
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 11 and 12) 39

40. Managing underperformance
Performance management does not form any part of any formal disciplinary, competency or capability procedures.
Appraisal statements may be taken into account by those responsible for taking decisions about performance, pay, promotion, dismissal or disciplinary matters.
Effective line management, with clear expectations and appropriate support, will assist in identifying and addressing any areas for improvement in performance at an early stage.
Notes
The performance management appraisal does not form any part of disciplinary or dismissal procedures.
Procedures to address underperformance are the subject of separate regulations.
The review meeting and appraisal statement do not form any part of any formal disciplinary, competency or capability procedures.
However, any relevant information from appraisal statements may be taken into account by those responsible for taking decisions about performance, pay, promotion, dismissal or disciplinary matters triggered by other procedures.
References
Welsh Government guidance
Performance management for headteachers (2012) (page 20) 40

41. Exceptional circumstances
Where a decision is taken to enter into a formal competency or capability procedure, then that procedure supersedes performance management arrangements.
The performance management process may be suspended at any time.
Notes
References
Welsh Government guidance
Performance management for headteachers (2012) (page 20) 41

42. The performance management process
Best practice in performance management is characterised by:
a commitment to the attainment and welfare of learners
an appreciation of the crucial role that headteachers play
a commitment to the performance and welfare of staff
an atmosphere of trust between the headteacher and the appraisal panel, which allows for rigorous evaluation of strengths and identification of areas for development
an encouragement to share good practice
the integration of performance management into the overall approach to leading and managing the school.
Notes
References
Welsh Government guidance
Performance management for headteachers (2012) (page 7) 42

43. And finally . . .
‘Performance management focuses attention on making teaching and leadership more effective to benefit pupils, teachers and schools.’
Performance management for headteachers
(Welsh Government, 2012)